Legal Assistant

Duties: As a Legal Assistant, you will strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm s businesses.

Responsibilities:
Conduct due diligence reviews of clients during the account opening process
Conduct monitoring and surveillance of transactions, employee activities or communications
Analyze regulations, rules and various proposals
Draft and coordinate regulatory updates and compliance bulletins
Develop a compliance training program
Perform tests of the Firm s processes and controls
Research and respond to various regulatory inquiries and examinations
Defuse an investor or client dispute
Participate in compliance risk assessments and analyze the compliance environment and controls for a line of business

Qualifications:
We are looking for dynamic, resourceful, and dedicated candidates with knowledge of financial services and the securities markets and/or similar experiences that can translate to our work environment
Outstanding communication skills
Excellent interpersonal skills
Strong analytical & problem-solving skills; critical thinking ability
Adaptive and able to meet deadlines on assignments and change priorities as required
Collaborative & able to build effective working relationships with all levels of employees
Strong skills in relationship building
Excellent time management and organizational skills
Detail oriented and able to quickly grasp big picture issues
Driven, self-starter
Committed to self-development